Fund Codes & Compensation

Transcription

1 Fund Codes & Compensation For Advisor Use Only

2 Fund Codes & Compensation TD Mutual Funds Money Market or FT8 PF ISC DSC LSC LSC2 1 P or K TD Canadian Money Market Fund TD Premium Money Market Fund 623 TD U.S. Money Market Fund (US$) Fixed Income TD Income Advantage Portfolio TD Income Advantage Portfolio T5, FT5, K TD Ultra Short Term Bond Fund TD Short Term Bond Fund TD Canadian Bond Fund TD Canadian Core Plus Bond Fund TD Canadian Corporate Bond Fund TD Corporate Bond Plus Fund TD U.S. Corporate Bond Fund (US$) TD Real Return Bond Fund TD Global Income Fund TD Global Income Fund T5, FT TD Global Income Fund (US$) TD Global Core Plus Bond Fund TD Global Core Plus Bond Fund 6 T5, FT TD Global Core Plus Bond Fund 6 F Series (US$) 3502 TD Global Unconstrained Bond Fund TD Global Unconstrained Bond Fund T5, FT TD Global Unconstrained Bond Fund (US$) TD High Yield Bond Fund TD High Yield Bond Fund FT TD High Yield Bond Fund T8, FT TD High Yield Bond Fund F Series (US$) 3503 TD Canadian Bond Index Fund 436 TD Retirement Portfolios TD US$ Retirement Portfolio TD US$ Retirement Portfolio T5, FT TD Retirement Conservative Portfolio TD Retirement Conservative Portfolio T5, FT5, K TD Retirement Balanced Portfolio TD Retirement Balanced Portfolio T5, FT5, K Balanced TD Monthly Income Fund TD Monthly Income Fund FT TD Monthly Income Fund T8, FT TD Tactical Monthly Income Fund TD Tactical Monthly Income Fund FT TD Tactical Monthly Income Fund T8, FT8, K TD U.S. Monthly Income Fund (C$) TD U.S. Monthly Income Fund (C$) FT TD U.S. Monthly Income Fund (C$) T8, FT TD U.S. Monthly Income Fund (US$) TD U.S. Monthly Income Fund (US$) FT ISC - Initial Sales Charge DSC - Deferred Sales Charge LSC - Low Sales Charge LSC2 - Low Sales Charge II

3 TD Mutual Funds Balanced or FT8 PF ISC DSC LSC LSC2 1 P or K TD U.S. Monthly Income Fund (US$) T8, FT TD Balanced Income Fund TD Diversified Monthly Income Fund TD Diversified Monthly Income Fund FT TD Diversified Monthly Income Fund T8, FT TD Strategic Yield Fund TD Strategic Yield Fund FT TD Strategic Yield Fund T8, FT TD Mutual Funds Balanced or FT8 PF or PS ISC DSC LSC LSC2 1 P or K TD Balanced Growth Fund TD Dividend Income Fund TD Dividend Income Fund FT TD Dividend Income Fund T8, FT TD Global Conservative Opportunities Fund TD Global Balanced Opportunities Fund Canadian Equity TD Canadian Low Volatility Fund TD Canadian Low Volatility Fund FT TD Canadian Low Volatility Fund T8, FT TD Dividend Growth Fund TD Dividend Growth Fund FT TD Dividend Growth Fund T8, FT TD Canadian Equity Fund TD Canadian Value Fund TD Canadian Small-Cap Equity Fund TD Canadian Index Fund 437 U.S. Equity TD U.S. Risk Managed Equity Fund TD U.S. Risk Managed Equity Fund T5, FT TD U.S. Risk Managed Equity Fund (US$) TD U.S. Low Volatility Fund TD U.S. Low Volatility Fund FT TD U.S. Low Volatility Fund T8, FT TD U.S. Low Volatility Fund (US$) TD U.S. Low Volatility C.N.* Fund TD U.S. Low Volatility C.N.* Fund FT TD U.S. Low Volatility C.N.* Fund T8, FT TD North American Dividend Fund TD North American Dividend Fund FT TD North American Dividend Fund T8, FT TD North American Dividend Fund F Series (US$) 3504 TD U.S. Dividend Growth Fund TD U.S. Dividend Growth Fund 6 FT * C.N. refers to Currency Neutral

4 Fund Codes & Compensation TD Mutual Funds U.S. Equity or FT8 PF or PS ISC DSC LSC LSC21 P or K TD U.S. Dividend Growth Fund T8, FT TD U.S. Dividend Growth Fund (US$) Epoch U.S. Shareholder Yield Fund Epoch U.S. Shareholder Yield Fund FT Epoch U.S. Shareholder Yield Fund T8, FT Epoch U.S. Shareholder Yield Fund (US$) TD U.S. Blue Chip Equity Fund TD U.S. Blue Chip Equity Fund (US$) 3172 TD U.S. Quantitative Equity Fund 3173 Epoch U.S. Large-Cap Value Fund Epoch U.S. Large-Cap Value Fund (US$) TD U.S. Equity Portfolio TD U.S. Mid-Cap Growth Fund TD U.S. Mid-Cap Growth Fund (US$) TD North American Small-Cap Equity Fund TD U.S. Small-Cap Equity Fund TD U.S. Small-Cap Equity Fund F Series (US$) 3505 TD U.S. Index Fund 439 TD U.S. Index C.N.* Fund 440 TD Dow Jones Industrial Average SM Index Fund 438 TD Nasdaq Index Fund 441 Global Equity TD Global Risk Managed Equity Fund TD Global Risk Managed Equity Fund T5, FT TD Global Risk Managed Equity Fund F Series (US$) 3506 TD Global Low Volatility Fund TD Global Low Volatility Fund FT TD Global Low Volatility Fund1 T8, FT TD Global Low Volatility Fund F Series (US$) 3507 TD Global Equity Focused Fund 10 FT TD Global Equity Focused Fund 10 T8, FT TD Global Equity Focused Fund 10 (US$) Epoch Global Shareholder Yield Fund Epoch Global Shareholder Yield Fund FT Epoch Global Shareholder Yield Fund T8, FT Epoch Global Shareholder Yield C.N.* Fund Epoch Global Shareholder Yield C.N.* Fund FT Epoch Global Shareholder Yield C.N.* Fund T8, FT Epoch Global Equity Fund Epoch Global Equity Fund F Series (US$) 3508 Epoch International Equity Fund Epoch International Equity Fund F Series (US$) 3509 TD International Growth Fund TD International Growth Fund F Series (US$) 3510 Epoch European Equity Fund TD Emerging Markets Low Volatility Fund

5 TD Mutual Funds Global Equity or FT8 PF or PS ISC DSC LSC LSC21 P or K TD Emerging Markets Low Volatility Fund FT TD Emerging Markets Low Volatility Fund T8, FT TD Emerging Markets Low Volatility Fund F Series (US$) 3511 TD Emerging Markets Fund TD Emerging Markets Fund F Series (US$) 3512 TD Asian Growth Fund TD International Index Fund 443 TD International Index C.N.* Fund 444 TD European Index Fund 442 Sector TD Resource Fund TD Precious Metals Fund TD Health Sciences Fund TD Health Sciences Fund F Series (US$) 3515 TD Global Entertainment & Communications Fund TD Global Entertainment & Communications Fund 9 F Series (US$) 3513 TD Science & Technology Fund TD Science & Technology Fund F Series (US$) 3514 Corporate Class TD Short Term Investment Class TD Tactical Monthly Income Class TD Dividend Income Class TD Canadian Low Volatility Class TD Dividend Growth Class TD Canadian Equity Class TD Canadian Value Class TD Canadian Small-Cap Equity Class TD U.S. Risk Managed Equity Class Epoch U.S. Large-Cap Value Class TD U.S. Mid-Cap Growth Class TD Global Risk Managed Equity Class TD Global Low Volatility Class Epoch Global Equity Class TD International Growth Class TD Asian Growth Class TD Emerging Markets Class TD Advantage Investment Portfolios TD Advantage Balanced Income TD Advantage Balanced Income T5, FT TD Advantage Balanced TD Advantage Balanced T5, FT TD Advantage Balanced Growth TD Advantage Balanced Growth T5, FT TD Advantage Growth TD Advantage Aggressive Growth

6 TD Mutual Funds TD Managed Portfolios TD Mutual Funds TD FundSmart Managed Portfolios Redemption Schedules Advisor & T-Series Codes P & K Series Trailer % ISC DSC LSC LSC2 P K ISC DSC LSC LSC2 1 P K TD FundSmart Managed Income & Moderate Growth TD FundSmart Managed Income & Managed Growth T TD FundSmart Managed Balanced Growth TD FundSmart Managed Balanced Growth T TD FundSmart Managed Aggressive Growth Sales Commission Advisor & T-Series Codes F or S PF or PS ISC DSC LSC LSC2 1 P or K TD Managed Income TD Managed Income T, S, K TD Managed Income & Moderate Growth TD Managed Income & Moderate Growth T, S, K TD Managed Balanced Growth TD Managed Balanced Growth T, S, K TD Managed Aggressive Growth TD Managed Maximum Equity Growth ISC DSC LSC LSC2 Up to 5% 5.0% 1.0% 3.0% Year 1 Year 2 Year 3 Year 4 Year 5 Year 6 DSC 5.5% 5.0% 4.5% 4.0% 3.0% 1.5% LSC 2.0% 2.0% LSC2 3.5% 3.0% 2.0% 1.0% Fund / Portfolio Minimums Minimum Initial Investment Minimum Additional Investment Funds/Portfolios/Series Advisor Series $500 $100 F-Series $500 $100 T, T5, T8, S, FT5, FT8 $5,000 $100 Premium, K, Premium F & PS-Series $100,000 $100 TD Retirement Portfolios Premium, K, Premium F & PS-Series $150,000 $100 TD Managed Assets Program Advisor & F-Series $2,000 $100 TD Managed Assets Program Premium & K-Series $150,000 $100 Portfolios Advisor Series 2 $2,000 $100 Portfolios F-Series 2 $5,000 $100 Systematic Withdrawal Plan ( SWP ) Minimums Minimum SWP Redemption Minimum Starting Balance Minimum Account Balance Funds/Portfolios/Series Advisor Series $100 $10,000 $1,000 F-Series $100 $10,000 $1,000 T, T5, T8, S, FT5, FT8 $100 $10,000 $5,000 Premium, K, Premium F & PS-Series $100 $200,000 $100,000 TD Retirement Portfolios Premium, K, Premium F & PS-Series $100 $250,000 $150,000 TD Managed Assets Program Advisor & F-Series $100 $10,000 $2,000 TD Managed Assets Program Premium & K-Series $100 $250,000 $150,000 Portfolios Advisor Series 2 $100 $10,000 $2,000 Portfolios F-Series 2 $100 $10,000 $1,000

7 Corporate Class Advisor Series F-Series Premium Series Premium F-Series T, T5 and T8 Series S, FT5 and FT8 Series K-Series PS-Series Investor Series Front-end load (ISC) Back-end load option (DSC) Low-load option (LSC) Low-load-2 option (LSC2) Short Term Trading Fee (STF) Corporate class mutual funds are structured as a mutual fund corporation. Each fund is offered as a different class of shares in the corporation. For clients seeking investment advice and purchasing under a front-end load, back-end load or low-load option. For clients participating in programs that usually do not require the payment of sales or redemption transaction charges by TD Asset Management Inc. (TDAM). Potential investors include clients of fee-for-service Financial Advisors, clients with dealer-sponsored wrap accounts and others who pay an annual fee to their dealer or Financial Advisor instead of transactional sales charges. For large investors and others who make the required minimum investment, as determined by TDAM from time to time. For large investors participating in programs that usually do not require the payment of sales or redemption transaction charges by investors or payment of service fees by TDAM and who meet the minimum investment requirement, as determined by TDAM from time to time. Potential investors include clients of fee-for-service Financial Advisors, client with dealer-sponsored wrap accounts, and others who pay an annual fee to their dealer instead of transactional sales charges. Investors who seek to receive a regular monthly cash flow from a Fund, while seeking investment advice, and want the option of transacting on a front-end load, back-end load, low-load or low-load-2 basis. Monthly distributions may consist of net income, net realized capital gains and/or a return of capital. The target annualized distribution rate for the T5 Series is 5% and the target annualized distribution rate for the T8 Series is 8%. These distribution rates are based on the Series net asset value per Security at the end of the previous calendar year. TDAM may change the target annualized distribution rate at any time. Investors who seek to receive a regular monthly cash flow from a Fund, while participating in programs that usually do not require the payment of sales or redemption transaction charges by investors, or payment of service fees by TDAM. Monthly distributions may consist of net income, net realized capital gains and/or a return of capital. The target annualized distribution rate for the FT5 Series is 5% and the target annualized distribution rate for the FT8 Series is 8%. These distribution rates are based on the Series net asset value per Security at the end of the previous calendar year. TDAM may change the target annualized distribution rate at any time. Potential investors include clients of fee-for-service Financial Advisors, clients with dealer-sponsored wrap accounts, and others who pay an annual fee to their dealer instead of transactional sales charges. Large investors and others who make the required minimum investment, as determined by TDAM from time to time who wish to receive a regular monthly cash flow from a Fund. Distributions will consist of net income, net realized capital gains and/or a return of capital monthly. Large investors who seek to receive a regular monthly cash flow from a Fund, while participating in programs that usually do not require the payment of sales or redemption transaction charges by investors or payment of service fees by TDAM and who meet the minimum investment requirement, as determined by TDAM from time to time. Monthly distributions may consist of net income, net realized capital gains and/or a return of capital. Potential investors include clients of fee-for-service Financial Advisors, clients with dealer-sponsored wrap accounts, and others who pay an annual fee to their dealer instead of transactional sales charges. For clients investing on a no-load basis. Under a front-end load option, the client pays a sales commission, which is negotiated with their Financial Advisor when they purchase units of the Funds. Under a back-end load option, the client does not pay a sales commission but they may be charged a redemption fee if they redeem their units within six years of purchasing them. The dealer receives a commission (currently 5%) from TDAM when the units are purchased. Under a low-load option, the client does not pay a sales commission but they may be charged a redemption fee if they redeem their units within two years of purchasing them. The dealer receives a commission (currently 1%) from TDAM when the units are purchased. Under a low-load-2 option, the client does not pay a sales commission but they may be charged a redemption fee if they redeem their units within four years of purchasing them. The dealer receives a commission (currently 3%) from TDAM when the units are purchased. Once securities acquired under this purchase option are held for periods greater than 4 years, the maximum annual trail commission rate that can be paid to the dealer may automatically increase to the maximum annual trail commission rate payable under the front-end load option for the same fund. Clients may be charged a short-term trading fee of up to 2% of the acquisition cost of the Securities of a Fund they acquired if they switch or redeem within the relevant minimum holding period. There is no minimum holding period for the Money Market Funds and TD Short Term Investment Class. The minimum holding period is 30 days for the Index Funds and 7 days for all other Funds.

8 To find out more, call your Regional Sales Team, or Dealer Services at You can also visit us at tdadvisor.com or us at 1 Once securities acquired under this purchase option are held for periods greater than 4 years, the maximum annual trail commission rate that can be paid to the dealer may automatically increase to the maximum annual trail commission rate payable under the front-end load option of the same fund. 2 Portfolios Include TD Income Advantage Portfolio, TD U.S. Equity Portfolio, and the TD Advantage Investment Portfolios. 3 On September 1, 2016, TD Corporate Bond Capital Yield Fund was renamed TD Corporate Bond Plus Fund and the investment objective of such fund was changed. 4 Effective on March 28, 2017 the fund series were closed to all purchases. 5 Effective on March 28, 2017 the fund series were closed to purchases by new investors. 6 On July 27, 2017, TD Global Bond Fund was renamed TD Global Core Plus Bond Fund. 7 On July 27, 2017, TD Target Return Conservative Fund was renamed TD Global Conservative Opportunities Fund. 8 On July 27, 2017, TD Target Return Balanced Fund was renamed TD Global Balanced Opportunities Fund. 9 On July 30, 2018, TD Entertainment & Communications Fund was renamed TD Global Entertainment & Communications Fund. 10 TD Global Equity Focused Fund available for purchase on or about September 13, TD Mutual Funds and the TD Managed Assets Program portfolios are managed by TD Asset Management Inc., a wholly-owned subsidiary of The Toronto-Dominion Bank and are available through authorized dealers. TD Mutual Funds Corporate Class are issued by TD Mutual Funds Corporate Class Ltd. Epoch Investment Partners, Inc. is a wholly-owned subsidiary of The Toronto-Dominion Bank and an affiliate of TD Asset Management Inc. All trademarks are the property of their respective owners. The TD logo and other trade-marks are the property of The Toronto-Dominion Bank. (0818) For Advisor Use Only